Filing and Registration Fees

The SEC collects fees under various provisions of the securities laws, including the following:

• Section 6(b) of the Securities Act of 1933 (for registrations of securities);

• Section 13(e) of the Securities Exchange Act of 1934 (for specified repurchases of securities);

• Section 14(g) of the Securities Exchange Act of 1934 (for proxy solicitations and statements in corporate control transactions); and 

• Section 31 of the Securities Exchange Act of 1934 (for securities transactions on the exchanges and certain over-the-counter markets).

The Investor and Capital Markets Fee Relief Act requires that the SEC make annual adjustments to the rates for fees paid under these sections for each of the fiscal years 2003 through 2011 — and to make one final adjustment to fix the fee rates under these sections for fiscal year 2012 and beyond. The SEC will periodically issue notices — typically in the form of a press release labeled a “Fee Rate Advisory” — to keep the public informed of adjustments to the rates and developments relating to the effective dates of any new fee rates. 

For current rates for fees under Section 6(b), Section 13(e), Section 14(g), or Section 31, please visit the Division of Market Regulation’s Frequently Requested Documents webpage, and click on the most recent Fee Rate Advisory under “Section 31 Fees.” You’ll also find Fee Rate Advisories in the Press Releases section of our website. For official Commission Orders concerning fee rate adjustments, please visit the Other Commission Orders, Notices, and Information section of our website.

http://www.sec.gov/answers/filingregfees.htm